SI 00530: Fugitive Felons and Parole and Probation Violators
TN 2 (03-05)
NOTE: On April 1, 2009, SSA changed its policy of not paying fleeing felons. Follow the instructions below only for felony warrants with offense codes 4901, 4902, or 4999. Follow the Martinez settlement instructions in GN 02613.860 – GN 02613.885 for all other felony warrant codes.
On May 9, 2011, SSA changed its policy and no longer suspends or denies benefits or payments based solely on a probation or parole violation warrant (i.e., warrants with offense codes 5011, 5012, 8101, 8102, or 9999 or “Blank” and an offense charge symbol of “probation or parole violation”). Follow the Clark Court Order instructions in GN 02615.100 – GN 02615.190 for all probation or parole violation warrants.
We will make additional changes to this section, as necessary, in the future.
A. Introduction
Effective January 2005, the Social Security Protection Act (SSPA) of 2004 provides a “good cause” exception requiring the Commissioner to not suspend an individual’s benefit, and/or repay any previously withheld benefit under certain circumstances. The SSPA also gives the Commissioner the discretionary authority to find good cause for not suspending an individual’s benefit and/or repay any previously withheld benefit based on mitigating circumstances if the individual establishes that the offense underlying the warrant and imposition of the probation or parole (as well as the violation of probation or parole) was both nonviolent and not drug-related.
SSA will evaluate the reasons why a recipient did not satisfy his/her warrant. This includes analysis of the incoming warrant information, verification of the warrant information by the Office of the Inspector General (OIG), information provided by the recipient, and review of the recipient’s Social Security records. This evaluation will determine whether there is good cause to continue payments. First we look for mandatory good cause. If that is not found we look for discretionary good cause based on mitigating circumstances.
NOTE: See SI 00530.015B.2.b for instructions on applying good cause when the beneficiary lacks the mental capacity to resolve the warrant.
B. Policy
1. Mandatory good cause
The statute mandates that SSA not suspend an individual’s SSI payment, and/or repay a previously withheld payment, if:
a. Court of competent jurisdiction
A court of competent jurisdiction has
found the individual not guilty of the criminal offense or probation/parole violation; or
dismissed the charges relating to the criminal offense or parole/probation violation; or
vacated the warrant for arrest of the individual for the criminal offense or probation/parole violation; or
issued any similar exonerating order or taken similar exonerating action (e.g., the criminal offense on which the warrant is based is either no longer considered a crime punishable by death or confinement of more than one year or no longer enforced).
OR
b. Individual erroneously implicated
The individual was erroneously implicated in connection with the criminal offense by reason of identity fraud.
2. Discretionary good cause
If good cause cannot be found based on mandatory good cause, recipients will be given the opportunity to establish good cause based on mitigating circumstances. Good cause based on mitigating circumstances will be found if the factors in either Option A or Option B are met. If the required factors are not present on the warrant or in SSA records, SSA cannot establish good cause unless the recipient provides the needed evidence.
a. Option A
Find good cause if:
The criminal offense or probation/parole violation on which the recipient was charged or convicted was non-violent and not drug related. For a probation/parole violation the original offense was also non-violent and not drug related; and
The recipient was not convicted of or pled guilty to any subsequent felony crimes since the warrant was issued; and
The law enforcement agency that issued the warrant reports that it will not extradite the fugitive or is unwilling to act on the warrant.
b. Option B
Find good cause if:
The criminal offense or probation/parole violation on which the recipient was charged or convicted was non-violent and not drug related For a probation/parole violation the original offense was also non-violent and not drug related; and
The recipient was not convicted of or pled guilty to any subsequent felony crimes since the date the warrant was issued; and
The warrant is/was the only existing warrant and was issued 10 or more years prior to the date the Fugitive Felon Match processed the current warrant information; and
The recipient lacks the mental capacity to resolve a warrant as evidenced by one of the disability diagnostic codes listed in SI 00530.920; or is incapable of managing payments; or is legally incompetent; or Social Security has appointed a representative payee to handle his/her payments; or is residing in a long-term care facility, such as a nursing home or mental treatment/care facility..
3. When good cause may be requested and established
a. Mandatory good cause
Recipients may request mandatory good cause at any time. The time for making this request is not limited by Administrative Finality.
b. Discretionary good cause
Recipients may request discretionary good cause at any time up to 12 months from the date of the Notice of Planned Action notifying them of the planned fugitive suspension.
c. Good cause establishment period
Once either mandatory or discretionary good cause is requested, recipients have 90 days from the date of the request to provide the evidence necessary to show good cause. If, at the end of the 90-day period, the recipient has not submitted the necessary evidence, good cause will be denied.
4. Proof of good cause
The recipient must provide evidence to support a claim for good cause for not satisfying a warrant and that evidence must meet the following requirements.
NOTE: For purposes of this procedure “official” means:
Information about the claimant or warrant is on the letterhead of the court, appropriate law enforcement agency or probation/parole agency that issued the warrant or court document; and
The person signing the document has knowledge that the facts presented in the letter are correct and have been verified by the issuing agent.
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Good Cause Criteria |
Evidence Needed |
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An official document from the court or the warrant issuing agency stating that the warrant was erroneously issued in the individual’s name. |
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An official copy of the arrest warrant. The warrant must include the criminal charges on which the individual is wanted. Evaluate the charges using the chart in SI 00530.910B.2. Other documents, including but are not limited to, such as a docket, a conviction notice, or a plea agreement. |
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For probation/parole violators only.
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Court documents describing the trial proceedings and the criminal charges on which he/she was originally convicted. Examine the criminal charge(s) on the documents and classify the crime by the categories on the chart in SI 00530.910B.2. |
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A statement over the penalty clause on the SSA-795 as to whether they have been convicted of or pled guilty to any such crimes since the date of the warrant. |
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An official document from the warrant issuing law enforcement agency stating that it will not extradite the individual for the charges on the warrant or that it will not take action on the warrant for his/her arrest. If this information has already been reported on the OI-5D, this documentation is not needed. |
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A copy of the court order that appointed a conservator or guardian to handle the recipient’s affairs or that declared him/her legally incompetent. If SSA already has this information or the claimant has a representative payee, the documentation is not needed. |
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A statement over the penalty clause on the SSA-795 that the recipient is residing in such a facility. If SSA already has this information or the claimant has a representative payee, this documentation is not needed. |
C. Procedure - evaluating OI-5D report and SSA records to determine if good cause applies
1. Receipt of warrant information
The FO will receive all unsatisfied warrant information from the Fugitive Felon Matching Operation for Title II only, Title XVI only and concurrent cases for action.
2. Evaluation of OI-5D and other SSA records
a. OI-5D
Some good cause criteria can be determined by reviewing the OI-5D for the following information:
Type: Fugitive Felon or Parole or Probation Violator
Date of Warrant: MM/DD/YYYY
Offense Indicator: XXXX (See SI 00530.910B.2. for offense code category list).
Law Enforcement Agency Action Indicator: X (See SI 00530.925 for values for this code.)
Fugitive Indicator: X (See SI 00530.930 for values for this code.)
Originating Felony Charge(s): Burglary (This field contains information on the original criminal offense on which the recipient was convicted before probation/parole was granted.)
Remarks: Parole Violation (Aggravated Assault). (This field may contain information about the criminal charge that caused the probation/parole violation. It may also include information about other relevant charges.)
b. SSR
On a disability claim, check the medical diagnosis code (DIG) found on the DISB line of the SSR. See SI 00530.920 for diagnostic codes used for good cause reasons.
If the recipient has a rep payee, check REP PAYEE line to determine if recipient is legally incompetent.
Verify if recipient has a period of prisoner PSY N02/N22 for prisoner suspension on the SSR. This period of suspension may be a clue that the recipient was previously incarcerated for his/her underlying crime before he/she was granted probation/parole. If the PSY N02/N22 period is subsequent to the warrant information, the warrant may no longer be active.
c. PUPS
If the unsatisfied warrant is for a probation or parole violation, check the PUPS record for information on the recipient’s original offense. Determine the criminal offense and compare it to the list of offense codes in SI 00530.910B.2. If the offense is listed in one of the violent or drug related categories, the offense for the underlying criminal charge is considered violent or drug related. If the offense is not listed in one of the categories listed in SI 00530.910B.2., assume the underlying criminal offense before probation/parole was granted was not violent and not drug related. Check the PUPS record to determine if the warrant date precedes the prisoner suspension period. If so the warrant may have been satisfied when the recipient was arrested and confined.
3. Multiple criminal offenses on the same warrant
There may be multiple offense codes listed on the same warrant. One offense code will be listed in the offense code field on the OI-5D. Other offenses will be listed in the Remarks section of the OI-5D. The Remarks section may also contain additional probation/parole violation offense codes. Evaluate each offense independently to determine if good cause applies. If good cause is found for one offense but not for another, good cause is not found and the suspension will begin. For example, a person charged with smuggling diamonds (non-violent felony) and aggravated assault (violent felony) will be suspended based on the violent criminal offense - the aggravated assault.
4. Underlying criminal offense for probation/parole violators
If you cannot determine via the Originating Felony Charge(s) on the OI-5D, the PUPS record or other information in the SSA file, the underlying criminal charge for the crime the recipient committed before he/she was granted probation/parole, SSA cannot make a determination about the nature of this crime (i.e., if the crime is a felony or a misdemeanor or if it was non violent and not drug related). The recipient must provide evidence from the State or county in which the crime was committed as to the nature of the crime (i.e. not violent and not drug related) and also the penalty for the crime in order to meet the burden for establishing good cause based on mitigating circumstances.
5. Recipient is deceased
If the OI-5D comes back from OIG indicating LEA code of “K,” (Fugitive Deceased), take the following actions:
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STEPS |
ACTIONS |
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1 |
Evaluate whether administrative good cause may apply to the criminal charges on the deceased recipient’s warrant. |
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2 |
If:
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3 |
Prepare OI-5E per SI 00530.200E. |
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4 |
Do not send notice to a deceased recipient. If overpayment exists and a representative payee was contingently liable, send notice to the payee. |
6. Recipient resides in a long-term care facility
For good cause purposes, deem recipients residing in a long-term care facility to be incapable even if they are their own payee. Develop the need for a payee (see GN 00502.000).
If the recipient leaves the long-term care facility and still does not have a representative payee, reopen the good cause determination and make a new determination based on whether the recipient currently meets the good cause requirements.
7. Documenting the determination
If good cause is found:
Annotate the REMARKS field of the SSR with: “FF16—Warrant XXXXXXX, dated MM/DD/YYY, NCIC code: XXXXX ‘GOOD CAUSE WAS ESTABLISHED’ FF16 suspension does not apply.”
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Prepare an OI-5E per SI 00530.200E. Add the good cause Indicator (see below) to the OI-5E to document if good cause was found.
CODE
Good Cause Reason
MID
Warrant was issued incorrectly because of identity theft or other identity issue.
MNG
Individual found not guilty of the criminal offense.
MCD
Criminal charges were dismissed.
MWW
Warrant was withdrawn.
MCC
Criminal charges were otherwise cleared.
DNP
Law enforcement not taking action on the warrant.
DMC
Mental condition impairs capability to resolve the warrant (based on impairment code).
DRP
Individual has a representative payee, is incapable or incompetent.
DNH
Individual is residing in a long-term care facility such as a nursing home or mental treatment facility.
Annotate the EVID screen on the SHARED Process on the SSA Main Menu with the Good Cause Determination explaining the current circumstances and the reason(s) and evidence the recipient provides for requesting good cause and SSA’s justification for establishing good cause.
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Step 1 |
From the Main SSA Menu (SC00), Select SHARED PROCESSES (#4), then enter the SSN and select ESTABLISH, and EVIDENCE (#1) Select Program #1 Select Type # 3 (Unless this is a claims action, then select type #2) Document Submitted as Proof of the Following Event/Issues: Select “Other” Document Event Date: Enter the Date Good Cause Determination was Made |
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Step 2 |
Skip to Document Type: Enter “FF Good Cause Determination” |
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Step 3 |
Skip to Comments: Enter: “FF16 Good Cause Determination—Good Cause Applies Based on Mandatory Good Cause/Mitigating Good Cause Circumstances.” |
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Step 4 |
Input Your Personal identification information in the following fields:
and include the current date in the date field. NOTE: Go to Step #5. The reason for the good cause decision must be documented to reflect the specific reasons and evidence that used to find good cause. |
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Step 5 |
Skip to the field “Additional Evidence” and Enter “Y. Provide the specific type of good cause you are granting the recipient (i.e., Mandatory good cause or Mitigating Circumstances (Discretionary good cause). List evidence used to make good cause determination. |
NOTE: The same good cause determination will apply to Title XVI and Title II if the cases are concurrent. Prepare only one determination.
D. Exhibit - good cause information in SSA records and on the OI-5D
Use the following chart to find Good Cause information in SSA records (SSR) and on the OI-5D.
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Good Cause Criteria |
Available Information |
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OI-5D Refer to SI 00530.910 for list of 4-digit Offense Codes.
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OI-5D
SSR: History field shows period of LAF N02/N22. PUPS PUPS records shows period of confinement for underlying criminal offense. |
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OI-5D Date of Warrant: MM/DD/YYYY (Date LEA issued warrant for the recipient’s arrest) SSR Period of N02/N22 prisoner suspension on the SSR. Suspension period starts after date of warrant. PUPS PUPS record indicates a period of confinement. The confinement date is after the warrant date. A conviction date is on PUPS. The conviction date is later than the date of the warrant. |
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OI-5D LEA Code: code is D |
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OI-5D Date of Warrant: MM/DD/YYYY (Date LEA issued warrant for the recipient’s arrest) SSA Run Date: MM/DD/YYYY |
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SSR DIG Code (XXXX) in DISB data line on the SSR has one of the codes listed in SI 00530.920. |
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SSR REPY Data line shows representative payee. To determine competency refer to SM 01601.565C.18. for CO codes. |
NOTE: If any of the above factors are unknown by SSA or cannot be determined at the time you are reviewing the SSA records or warrant information, process the case per SI 00530.010. The recipient must provide the evidence or information to make a good cause determination.